Rothstein Kass Co-Authors "A Practical Guide to Capital Markets: Participants, Instruments and Compliance"

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Principal Joe Pacello and National Leader of Trusts and Estates Richard Bloom Collaborate With Capital Markets Expert Abe Mastbaum on New Thomson Reuters Westlaw Guide

Experts at Rothstein Kass (, a leading national professional services provider, have co-authored “A Practical Guide to Capital Markets: Participants, Instruments and Compliance,” published by Thomson Reuters Westlaw. Joe Pacello, a Financial Services Tax Principal, and Richard Bloom, National Leader of Trusts and Estates at Rothstein Kass, have teamed with lead author Abe Mastbaum, Tax and Capital Markets Counsel at Barton LLP. The book is intended as an introductory-level guide for students, new employees at asset management companies and other financial institutions, and anyone interested in financial markets and instruments.

“At Rothstein Kass, we recognize that a truly insightful thought leadership platform is built on the ability to bring clarity to dynamic and increasingly complex market conditions. For more than half a century, we have earned the trust of our clients by delivering exceptional service while also helping them to keep pace with change,” said Mr. Pacello. “Today, the enhanced regulatory and compliance focus directed toward the asset management sector has caused uncertainty that threatens to negate the intended benefits. On behalf of our firm, it was a privilege to work with renowned capital markets expert Abe Mastbaum in creating a comprehensive yet accessible guide. We believe that it is through collaboration that best practices emerge and are proud to have had the opportunity to contribute.”

Among other topics, “A Practical Guide to Capital Markets: Participants, Instruments and Compliance,” addresses:

  • Capital markets participants and dynamics
  • Regulators and the scope of securities regulation
  • An overview of various financial products, including stocks, bonds and derivatives
  • Pricing and arbitrage relationships
  • The mechanics of trading on exchanges and in the OTC markets
  • Tax and wealth transfer issues facing investors

“When seeking to understand capital markets, many ultra-wealthy individuals and families mistakenly concentrate exclusively on asset management components. However, as recent events have reminded, investment decisions made without consideration of the tax consequences can quickly create disparities between long-term family objectives and available resources. Adopting an integrated wealth management approach brings financial, lifestyle, and generational issues into alignment, allowing the family to focus on enjoying the benefits of wealth while maximizing investment returns,” said Mr. Bloom. “This sort of approach can be particularly beneficial in transferring wealth to younger generations or pursuing the sale of a family business.”

For additional details, or to purchase “A Practical Guide to Capital Markets: Participants, Instruments and Compliance,” please visit

About Rothstein Kass:
Rothstein Kass is a premier professional services firm that has served privately held and publicly traded companies, as well as high-net-worth individuals and families, for more than 50 years. As trusted advisors to our clients, Rothstein Kass provides accounting, auditing and tax services, as well as a full array of integrated services, to clients across industry spectrums and in all stages of organizational development. At the core of Rothstein Kass’ remarkable success lies our commitment to hiring, developing and retaining employees that represent an entrepreneurial spirit mirroring that of the sophisticated business and financial services communities that we serve.

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Rob Solomon / Erin Oliveri
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